Regulatory Compliance
335 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
Shaw Park Private Markets 2025 Onshore Fund Files SEC Form for Section 3(c)(7)
Shaw Park Private Markets 2025 Onshore Fund L.P. filed a SEC document on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
A&Q Alternative Yield Fund Files Under Section 3(c)(7)
D/A - A&Q Alternative Yield Fund Ltd submitted a SEC filing on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
Hiive SpaceX Opp Fund LLC Files Under Section 3(c)(7)
D - Hiive SpaceX Opp Fund LLC filed a document with the SEC on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
Silverback Opportunistic Credit Fund Files Under Section 3(c)(7)
Silverback Opportunistic Credit Fund Ltd. submitted a SEC filing on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
Altum Credit Fund Files SEC Notice for Section 3(c)(7) Exemption
Altum Credit Fund, L.P. submitted a SEC filing on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
Discovery Global Opportunity Partners Files SEC Document on Section 3(c)(7)
Discovery Global Opportunity Partners, L.P. submitted a filing to the SEC on March 13, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Silvercrest Insurance Fund LP Files SEC Document for Section 3(c)(7)
D - TALSON - SILVERCREST INSURANCE FUND, LP filed a SEC document on March 13, 2026, related to Item 3C.7 under the Investment Company Act.
Pabrai Investment Fund 3 Files Under Investment Company Act Section 3(c)(1)
Pabrai Investment Fund 3, Ltd. submitted a SEC filing on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
D - RP 200 N HOLDINGS, LLC Files SEC Document on Investment Company Act
D - RP 200 N HOLDINGS, LLC filed a SEC document on March 12, 2026, referencing Section 3(c) of the Investment Company Act.
ICONIQ Strategic Partners VII Co-Invest Files SEC Exemption Under Section 3(c)(7)
ICONIQ Strategic Partners VII Co-Invest, L.P. (Series Q) filed a notice with the SEC on March 12, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Prototype Fund I LP Files SEC Document Under Investment Company Act
D - Prototype Fund I LP filed a document with the SEC on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
Griffin Capital Development Partners Fund III Files SEC Form for Investment Company Act
Griffin Capital Development Partners Fund III, L.P. filed a SEC form on March 12, 2026, citing Section 3(c)(5) of the Investment Company Act, according to SEC EDGAR records.
Prototype Fund I LP Files Under Investment Company Act Section 3(c)(1)
D - Prototype Fund I LP submitted a SEC filing on March 12, 2026, related to Item 3C and Section 3(c)(1) of the Investment Company Act.
K5 Tech Fund II, LP - Series 203 Files Under Section 3(c)(7)
On March 12, 2026, K5 Tech Fund II, LP - Series 203 filed a document with the SEC under Item 3C for Section 3(c)(7) of the Investment Company Act.
Rothschild Technology Partners Files SEC Document on Investment Company Act
Rothschild Technology Partners, L.P. submitted a filing to SEC EDGAR on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
Blackstone Feeder Fund Files SEC Document on Investment Act Section
Blackstone Capital Opportunities Feeder Fund V-R (CYM) LP filed a SEC document on March 11, 2026, related to Section 3(c)(7) of the Investment Company Act.
Lightspring Capital II, LP Files SEC Exemption Notice
Lightspring Capital II, LP submitted a filing to the SEC on March 11, 2026, for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Reciprocal Ventures Files Under Investment Company Act Section 3(c)(1)
Reciprocal Ventures, a Series of Decile Start Fund, LP, filed a SEC EDGAR document on March 11, 2026, related to Section 3(c)(1) of the Investment Company Act.
Still Point Partners Fund I Files for SEC Exemptions
Still Point Partners Fund I, LP filed for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act on March 11, 2026, according to SEC EDGAR.
Still Point Partners Fund I, LP Files for Investment Company Act Exemptions
Still Point Partners Fund I, LP filed a SEC document on March 11, 2026, citing exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Avanath Affordable Housing Fund Files SEC Document for Section 3(c)(7)
Avanath Affordable Housing Renaissance Fund, L.P. filed a SEC EDGAR document on March 11, 2026, related to Item 3C.7 under the Investment Company Act.
MGI Investments LP - Series 38 Files SEC Document Under Section 3(c)(1)
MGI Investments LP - Series 38 submitted a SEC filing on March 11, 2026, related to Section 3(c)(1) of the Investment Company Act.
Fineline Capital, LLC Submits SEC Filing
Fineline Capital, LLC filed a document with the SEC on March 9, 2026, as recorded in the agency's archives.
EquityZen Fund Files for Section 3(c)(1) Exemption
EquityZen Growth Technology Fund LLC - Series 2246 filed a document with SEC EDGAR on March 10, 2026, citing Section 3(c)(1) of the Investment Company Act.
Financial Edge Fund L P Files SEC Document for Section 3(c)(1)
D/A - FINANCIAL Edge Fund L P submitted a SEC filing on March 10, 2026, related to Item 3C of the Investment Company Act.
Chapel Oak Capital Files SEC Document Under Section 3(c)(1)
Chapel Oak Capital, L.P. submitted a SEC EDGAR filing on March 10, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Chodikee Lake Partners LP Files SEC Document for Investment Company Act Exemption
Chodikee Lake Partners LP filed a SEC document on March 10, 2026, related to Section 3(c)(1) of the Investment Company Act.
TCC MHP Holdings LLC Files SEC Document Under Investment Company Act
TCC MHP Holdings LLC submitted a filing on March 10, 2026, related to Section 3(c)(1) of the Investment Company Act, as reported by SEC EDGAR.
Credit Alternatives Fund Files for Section 3(c)(7) Exemption
D/A - Credit Alternatives Fund, LTD. filed a document with SEC EDGAR on March 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
Douglas Place Holdings LLC Files with SEC
Douglas Place Holdings, LLC submitted a filing to the SEC on March 9, 2026, as recorded in SEC EDGAR documents.
D - CA-1213 Fund I Files for Section 3(c)(1) Exemption
D - CA-1213 Fund I, a series of Roll Up Vehicles, LP, filed an SEC document on March 9, 2026, related to Section 3(c)(1) of the Investment Company Act.
FINYX FUND US LP Files Under SEC Investment Company Act
FINYX FUND US LP submitted a SEC filing on March 9, 2026, citing Section 3(c)(1) of the Investment Company Act.
Roark Capital Eyes $2B IPO for Inspire Brands Portfolio Company
The private equity firm considers public offering for restaurant conglomerate owning Dunkin', Arby's, and Jimmy John's.
Littlejohn Backs Power Infrastructure Consultant GDS Associates
Private equity firm Littlejohn & Co invests in GDS Associates, a power infrastructure consulting firm led by president David Brian.
Farallon Capital Files SEC 3(c)(7) Registration, Targets Qualified Purchasers
The San Francisco hedge fund giant's latest SEC filing signals fundraising activity targeting sophisticated institutional investors.
